| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 561 |
|
PRADEEP MAHENDRALAL CHOKSI,M/S
(Member : SKSE)
|
|
|
|
PRADEEP M.CHOKSI
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 13-MAY-2002
13-MAY-2002
|
|
| 562 |
|
|
PRAFULBHAI N.MODI,M/S
(Member : SKSE)
|
|
|
|
PRAFUL N.MODI
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 13-MAY-2002
13-MAY-2002
|
|
| 563 |
|
|
PRAGATI INVESTMENTS
(Member : MNGSE)
|
|
|
|
SURYAKANTH V.MANDAVIA
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 16-JUL-2004
16-JUL-2004
|
|
| 564 |
|
|
PRAGYA COMMODITY BROKERS PVT.LTD.
(PAN:AAACP3248G)
(Member : NSEL)
|
|
|
NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 28-APR-2023
28-APR-2023
|
SAT: SAT VIDE ITS ORDER DATED 20/06/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED ON OR BEFORE NEXT DATE. STAYED EFFECT AND OPERATION OF THE IMPUGNED ORDER TILL NEXT DATE OF THE LISTING
SAT: SAT VIDE ITS ORDER DATED 08/08/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 30/10/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 06/12/2023 CONDONED THE DELAY IN FILING OF REPLY AND REPLY AND REJOINDER TAKEN ON RECORD. EXEMPTION APPLICATIONS, IF ANY ALLOWED
SAT: SAT VIDE ITS ORDER DATED 12/12/2023 DISPOSED OF THE GROUP OF APPEALS BY DIRECTING SEBI TO CONSIDER AND COME OUT WITH A SCHEME UNDER SETTLEMENT REGULATIONS PREFERABLY WITHIN THREE MONTHS FROM DATE OF THIS ORDER. IN THE EVENT, SCHEME NOT FRAMED UNDER SETTLEMENT REGULATIONS BY SEBI THEN SAID DECISION TO BE COMMUNICATED TO ALL APPELLANTS
SAT: SAT VIDE ITS ORDER DATED 14/03/2024 ALLOWED EXTENSION OF FOUR MONTHS W.E.F.11/03/2024 FOR COMING OUT WITH A SCHEME UNDER SEBI (SETTLEMENT PROCEEDINGS) REGULATIONS, 2018 AS DIRECTED BY THIS TRIBUNAL VIDE ORDER DATED 12/12/2023
SAT: SAT VIDE ITS ORDER DATED 12/07/2024 GRANTED EXTENSION OF SIX MONTHS TO COMPLETE THE ENTIRE PROCEEDINGS AND COME OUT WITH A SCHEME UNDER THE SETTLEMENT REGULATIONS
SAT: SAT: SAT VIDE ITS ORDER DATED 12/03/2025 GRANTED EXTENSION FOR FOUR MONTHS TO COMPLY WITH ORDER DATED 12/12/2023
|
| 565 |
|
|
PRAGYA COMMODITY BROKERS PVT.LTD.
(PAN:AAACP3248G)
(Member : NCDEX/MCX)
|
|
|
NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 24-SEP-2021
24-SEP-2021
|
SAT: SAT VIDE ITS ORDER DATED 23/11/2021 STAYED EFFECT AND OPERATION OF IMPUGNED ORDER DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 18/02/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER. CONDONED THE DELAY IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 20/07/2022 ALLOWED THE APPEAL INCLUDING NSEL ALSO AND QUASHED IMPUGNED ORDER DATED 09/06/2022. MATTER REMITTED TO WTM TO DECIDE AFRESH
SAT: SAT VIDE ITS ORDER DATED 14/10/2022 ALLOWED THE MODIFICATION APPLICATION. LINE 5 IN PARAGRAPH 2 OF ORDER DATED 20/07/2022 IS MODIFIED AND WORD CANCELLED IS ADDED AFTER WORD REJECTED
|
| 566 |
|
|
PRAMAN CAPITAL MARKET SERVICES LTD.
(Member : COCSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 08-FEB-2007
08-FEB-2007
|
|
| 567 |
|
|
PRAMAN CAPITAL MARKET SERVICES LTD.
(Member : OTC)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 12-SEP-2003
12-SEP-2003
|
|
| 568 |
|
|
PRAMAN CAPITAL MARKET SERVICES LTD.
(Member : NSE)
|
|
|
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 12-JUN-2003
12-JUN-2003
|
|
| 569 |
|
|
PRAMAN CAPITAL MARKET SERVICES LTD.
(Member : NSE)
|
|
|
DECLARED DEFAULTER AND NOT RE-ADMITTED WITHIN A PERIOD OF SIX MONTHS
DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 12-JUN-2003
12-JUN-2003
|
|
| 570 |
|
|
PRAMOD GUPTA & CO.
(Member : VSE)
|
|
|
|
PRAMOD GUPTA
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 29-OCT-2004
29-OCT-2004
|
|
| 571 |
|
|
PRASAD & CO.PVT.LTD.
(Member : NSE/OTC)
|
|
|
DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 28-FEB-2005
28-FEB-2005
|
|
| 572 |
|
|
PRAVEEN & CO.
(Member : JSE)
|
|
|
|
PRAVEEN RAMAWAT
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 06-DEC-2004
06-DEC-2004
|
|
| 573 |
|
|
PRAVIN BHAICHAND PARMAR,M/S
(Member : PSE)
|
|
|
|
PRAVIN B.PARMAR
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 01-DEC-2004
01-DEC-2004
|
|
| 574 |
|
|
PREM PAREKH,M/S
(Member : OTC)
|
|
|
|
PREM PAREKH
|
|
DID NOT PAY FEES TO SEBI
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 23-JAN-2008
23-JAN-2008
|
|
| 575 |
|
|
PREM SOMANI SHARE BROKERS PVT.LTD.
(PAN:AABCP4104E)
(Member : NSE)
|
|
|
NO LONGER A MEMBER OF ANY STOCK EXCHANGE
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-AUG-2024
30-AUG-2024
|
|
| 576 |
|
|
PREMA PODDAR,M/S
(Member : CSE)
|
|
|
|
PREMA PODDAR
|
|
DECLARED DEFAULTER AND NOT RE-ADMITTED WITHIN A PERIOD OF SIX MONTHS
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-JUL-2002
30-JUL-2002
|
|
| 577 |
|
|
PREMA SWAROOPA SECURITIES
(Member : OTC)
|
|
|
|
A.S.KUMAR
|
|
DID NOT PAY FEES TO SEBI
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 23-JAN-2008
23-JAN-2008
|
|
| 578 |
|
|
PREMIER SECURITIES LTD.
(Member : NSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 26-SEP-2003
26-SEP-2003
|
|
| 579 |
|
|
PREMJIT SINGH SIDHU,M/S
(Member : LSE)
|
|
|
|
PREMJIT SINGH SIDHU
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 11-OCT-2002
11-OCT-2002
|
|
| 580 |
|
|
PRESSLER SECURITIES & FINANCIAL SERVICES LTD.
(Member : OTC)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 16-FEB-2005
16-FEB-2005
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
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| Page 29 of 43
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